Executive Team

Mark Gatto

Co-Founder & Co-Chief Executive Officer

Mr. Gatto is Co-Founder, Co-Chief Executive Officer and Co-President of CION Investment Group, LLC (“CION”) and CION Investment Corp. (“CIC”). He is also a Director and Co-Chief Executive Officer of CION Ares Management, LLC and CION Ares Diversified Credit Fund (“CADC”). Mr. Gatto serves on the investment committee of CIC and the investment allocation committee for CADC. He joined CION in 1999. Mr. Gatto was formerly Executive Vice President and Chief Acquisitions Officer from May 2007 through January 2008. He served as Executive Vice President of Business Development from May 2006 through May 2007 and Vice President of Marketing from August 2005 through February 2006. Mr. Gatto was also Associate General Counsel from November 1999 until October 2000.

Previously, Mr. Gatto was an executive for a leading international product development and marketing company from 2000 through 2003 and later co-founded a specialty business-consulting firm in New York City where he served as its managing partner before re-joining CION in 2005. Mr. Gatto was also an attorney in private practice prior to joining the firm.

Mr. Gatto received an M.B.A from the W. Paul Stillman School of Business at Seton Hall University, a J.D. from Seton Hall University School of Law, and a B.S. from Montclair State University.

Mr. Reisner serves on the investment committee of CIC as well as the Investment Allocation Committee of CADC. He joined CION in 2001. Mr. Reisner was formerly Chief Financial Officer from January 2007 through April 2008. Mr. Reisner was also formerly Executive Vice President — Originations from February 2006 through January 2007. Mr. Reisner was Senior Vice President and General Counsel from January 2004 through January 2006.

Mr. Reisner was Vice President and Associate General Counsel from March 2001 until December 2003. Previously, from 1996 to 2001, Mr. Reisner was an attorney in private practice in New York. Mr. Reisner received a J.D., cum laude, from New York Law School and a B.A. from the University of Vermont.

Most recently, Mr. Bresner served as the operating Chief Financial Officer of JDS Therapeutics from 2012 to 2016. In 2003, Mr. Bresner co-founded Briscoe Capital Management, a registered investment manager and the portfolio manager of the Fairfield Briscoe Senior Capital Fund, a non-investment grade debt fund that merged into Plainfield Asset Management in 2006. From 2006 to 2010, Mr. Bresner served as a Managing Director of Plainfield, where he sourced and executed direct U.S. debt and equity investments for various Plainfield investment funds.

Mr. Bresner graduated magna cum laude with a B.S. from Rensselaer Polytechnic Institute and received his M.B.A. from the Columbia University Graduate School of Business, where he was a Beta Gamma Sigma scholar. Mr. Bresner is a holder of the right to use the Chartered Financial Analyst® designation.

Douglas Crossman

Co-Founder, Senior Managing Director & Head of Distribution

Mr. Crossman, Senior Managing Director, joined CION Investments in 2007. Mr. Crossman also serves as Head of Distribution of CION Securities, LLC. Prior to joining CION, Mr. Crossman was Director of Sales for W.H. Reaves & Co., a boutique institutional investment management firm specializing in the utility, energy, and telecom sectors, with responsibility for developing Reaves’ retail distribution. Prior to that role, Mr. Crossman was Vice President, for Salomon Brothers Asset Management in their separately managed account, mutual fund and alternatives division. Prior to joining Salomon Brothers, Mr. Crossman was Vice President, Head of Sales and Marketing for the newly formed Guardian Life Insurance broker-dealer, Park Avenue Securities, with responsibility for the distribution of wealth management products and brokerage services to approximately 100 branch offices and 3,000 registered representatives nationwide as well as direct responsibility for creating, developing and branding the newly formed broker/dealer in print and on the web. Mr. Crossman also served on the executive management committee of the broker-dealer. Mr. Crossman received his Bachelor of Science in Finance and International Business from Montclair State University and currently holds FINRA Series 6, 7, 24, 63, and 66 licenses.

Gregg Schill

Co-Founder & Senior Managing Director

Mr. Schill serves as Co-Founder & Senior Managing Director of CION Investment Group, LLC as well as a Vice President of CION Ares Diversified Credit Fund (“CADC”). He joined CION in 2001. Gregg served as Vice President of Treasury and Operations from 2006 to 2011, as Senior Vice President of Treasury and Operations from 2011 to 2012 and since 2012, currently serves as Managing Director of Financial Operations.

He is responsible for various financial and operational aspects of CION and its managed funds. Specifically he focuses on both corporate and portfolio capital structures, budgeting, liquidity, SEC reporting and financial statement review. Mr. Schill received his B.A. in Economics from Columbia University.

Professionals

Guillermo Alvarez-Calderon

Senior Vice President of Operations

Mr. Alvarez-Calderon, Senior Vice President of Operations joined CION Securities in December 2008 and has more than 16 years of experience in the securities industry. Prior to joining CION, Mr. Alvarez-Calderon worked for AllianceBernstein Investments as a Regional Sales Manager for international institutional / retail, covering the Americas with responsibility for 16 internal wholesalers.

Mr. Alvarez-Calderon was also responsible for the business development and management of the Toronto, Miami, Mexico City, São Paulo and Buenos Aires offices. Prior to that role, Mr. Alvarez-Calderon was a Senior Internal Wholesaler covering New York and California offshore markets and SMA market for Canada. Mr. Alvarez-Calderon received his Bachelor of Arts & Science from Lafayette College and currently holds FINRA Series 7, 26, 39 and 63 licenses.

Madeleine Boyle

Assistant Vice President - National Relationship Management

Ms. Boyle, Assistant Vice President on CION Securities’ Relationship Management team, focuses on the management and servicing of the Broker-Dealers in CION’s selling group. Ms. Boyle joined CION Securities in March 2015 as a Regional Marketing Director on CION Sales Team before transitioning to the Relationship Management Team in January 2017. Ms. Boyle holds a B.A. from Bucknell University in International Relations and currently holds FINRA Series 7 & 63 licenses.

William J. Burns

Senior Vice President & Chief Compliance Officer – CION Securities

Mr. Burns, Senior Vice President & Chief Compliance Officer of CION Securities, LLC, joined the firm in 2012 and has 25 years of industry experience. He began his career with Shearson Lehman Brothers and subsequently held senior compliance management positions with Royal Alliance Associates (Adviser Group); Park Avenue Securities (Guardian Life) and New York Life.

He is responsible for compliance matters pertaining to the distribution of products sponsored by CION Investment Group and its affiliates. He received a B.S from St. John’s University, a J.D. from Albany Law School and an MBA (Finance) from Fordham University. He currently holds the FINRA Series 7, 24, 63 and 65 licenses as well as the Certified Regulatory Compliance Professional (“CRCP”) designation issued jointly by FINRA and the University of Pennsylvania (Wharton School).

Alexander Cavalieri

Head of Marketing

Mr. Cavalieri, Head of Marketing at CION Investments, oversees all aspect of marketing including brand, web, social, search, public relations, email, print, and events.

Prior to joining CION in 2017, Mr. Cavalieri was a Vice President at BlackRock and was responsible for leading digital transformation for the iShares and BlackRock.com US experiences, including SEO and content syndication. Before joining the digital team, Mr. Cavalieri was in the Retirement Marketing division of BlackRock. He was charged with the strategy, development and management of the retirement center digital experience. Prior to joining retirement marketing team, Mr. Cavalieri led the development and management of BlackRock’s campus recruiting digital experience. Prior to BlackRock, Mr. Cavalieri worked at Glocal, Omni Corporation, and Workbridge Associates in various strategy, marketing, and sales roles. Mr. Cavalieri graduated from Syracuse University with a major in Communications & Rhetorical Studies.

Raymond Chew

Managing Director

Mr. Chew serves as Managing Director of CION Investment Group, LLC. He joined CION in 2007. Mr. Chew focuses on many of the day-to-day activities of the financial operations group including oversight of the tax department of CION and certain of its managed funds in addition to corporate accounting and reporting. From 1998 to 2007, Mr. Chew was employed by Take-Two Interactive Software, rising to the level of Director of Accounting. During his time there, he and his team specialized in consolidation and revenue recognition of the company. From 1997 to 1998, Mr. Chew was employed at First Chicago Trust. Mr. Chew received a B.S. in Accounting & Finance from the Stern Business School at New York University.

Keith S. Franz

Managing Director & Chief Financial Officer – CION Investment Corp.

Keith S. Franz serves as Managing Director and Chief Financial Officer of CION Investment Corporation. He joined CION in March 2009 as a Vice President of Accounting and Finance. Mr. Franz was previously a Senior Manager at Smart & Associates LLP from December 2008 until March 2009 and the Vice President of Corporate Finance for Audiovox Corporation from August 2004 to November 2008. Prior to Audiovox, from September 1991 through August 2004, Mr. Franz was employed by Ernst & Young LLP, rising to the level of Senior Audit Manager. Mr. Franz received a B.A. from Binghamton University and is a certified public accountant.

Louis Greco

Vice President & National Sales Desk Manager

Louis Greco serves as Vice President – National Sales Desk Manager for CION Securities, LLC.Since joining the firm in 2015, Louis has served in multiple capacities and has covered several territories as an internal sales specialist, including New England, the Mid-Atlantic and Southeast regions. Mr. Greco came to CION with various sales-experience, working prior at AllianceBernstein, LP as well as Automatic Data Processing (ADP, Inc.)

While at ADP, Louis began his career in sales by partnering and supporting small-to-middle-market US companies (1-500 employees) throughout the United States to implement advantageous tax-strategies by means of Corporate 401(k) and SIMPLE IRA plan sales. Subsequent to his time at ADP, Louis also worked at AllianceBernstein where he covered the Mid-Atlantic, Midwest, New England and Southeast regions of the US in various channels, including: Defined Benefit and Defined Contribution Investment-Only, Sub-Advisory/Insurance and US Retail.

In addition to his role as National Sales Desk Manager, Louis contributes to a number of firm-wide initiatives such as business-development, research & marketing and the training and on-boarding of new-hires.

Andre Hatibi

Senior Vice President - Business Development

Denise Kerrigan

Managing Director - Investor Relations

Mrs. Kerrigan serves as Managing Director, Investor Relations of CION Investment Group, LLC. She joined CION in 2003. Mrs. Kerrigan served as Assistant Vice President, Investor Relations from 2007-2010 and Investor Relations Coordinator from 2003-2007. Mrs. Kerrigan has over 30 years in the financial and leasing industry. Prior to joining CION, Mrs. Kerrigan was Vice President/Controller at Wellesley Leasing, LLC and Controller at Boston Sand & Gravel Co. She worked as a Senior Accountant at TLP Leasing Programs and CSA Financial. Mrs. Kerrigan received her Bachelor of Science in Accountancy from Bentley College in Waltham, MA.

Jordan M. Krumholz

Vice President - CION Investment Corporation

Mr. Krumholz, Vice President of CION Investment Corporation, focuses on underwriting, structuring and managing investments. Prior to joining CION in April 2016, Mr. Krumholz was a Senior Associate at KPMG, where he focused on mergers and acquisitions deal advisory. Previously, he was a Senior Associate at PwC, where he provided advisory and assurance services to Business Development Companies and other alternative asset managers.

Mr. Krumholz graduated Cum Laude from the A.B. Freeman School of Business at Tulane University with a BSM in Finance and a Master of Accounting. Mr. Krumholz is a licensed Certified Public Accountant.

Geoff Manna

Managing Director

Mr. Manna serves as Managing Director of CION Investment Corporation and, among his various responsibilities, he leads the firm’s direct investment activities in the Southeast U.S. Mr. Manna is responsible for originating, structuring and managing investments across the capital structure.

Mr. Manna joined CION in 2017 with over 25 years of experience financing and advising sponsored and non-sponsored middle-market and large-cap companies across a wide variety of industries. Geoff served in senior banking positions with firms including Credit Suisse First Boston, Deutsche Banc Alex. Brown, Bankers Trust Company, Royal Bank of Scotland and BNP Paribas, where he focused on originating, underwriting, structuring and managing debt and equity transactions. His experience includes C-suite executive roles, such as COO and CFO, and board of directors’ work for large-cap and middle-market companies. Geoff began his career as a CPA in the audit and transaction services groups of KPMG.

Mr. Manna earned his M.B.A. from the Columbia University Graduate School of Business and a B.S. in Accounting from Villanova University.

Elena Moisa

Director - Marketing

Christine Petersen

Senior Vice President & Head of National Relationship Management

Mrs. Petersen, Senior Vice President and Head of National Relationship Management joined CION Securities with almost 15 years of experience in the financial services industry. Her responsibilities include developing and implementing strategic business plans to effectively communicate CION’s alternative multi-product platform solution with the active selling group. Additionally, she will work closely with the Business Development team to identify and foster new relationships with broker-dealer prospects.

Prior to CION, Mrs. Petersen served as Vice President, Senior Key Accounts at Griffin Capital and prior to that position spent 5 years at Cole Capital in a similar role. She began her career as a Financial Advisor at UBS Financial Services and later moved into recruiting for TFA and management at MetLife before transitioning into National Accounts. Mrs. Petersen is a graduate of the University of California, Irvine and has a Bachelor of Science in Sociology and a minor in Management. Mrs. Petersen currently holds FINRA series 7, 24 and 66 licenses.

Eric Pinero

Senior Director & Securities Counsel

Eric Pinero, Senior Director and Securities Counsel, joined CION Investment Group in 2013. Mr. Pinero has advised on various legal and regulatory matters, including matters related to corporate and securities law compliance, for CIG and its affiliated entities as well as its sponsored alternative investment products. Prior to joining CIG, Mr. Pinero was an attorney with several highly regarded regional law firms concentrating on securities law compliance, public and private securities offerings and corporate and commercial transactions. Mr. Pinero received a J.D. from Brooklyn Law School and a B.S. from Roger Williams University.

Stephen Roman

Senior Director & Chief Compliance Officer

Stephen Roman, Senior Director & Chief Compliance Officer of CION Investment Corporation. Since joining the firm in 2013 Mr. Roman has served as Vice President of CION Investment Management, LLC. During his tenure, Mr. Roman advised on numerous legal and regulatory matters and managed corporate and securities law compliance matters for CION’s various corporate entities. Previously, Mr. Roman was an attorney in New York. Prior to that he was an analyst at Forex Capital Markets. Mr. Roman received a J.D. from Northwestern University School of Law and a B.S. from New York University. Mr. Roman is a holder of the right to use the Chartered Financial Analyst® designation and is a member of the CFA Institute.

Kevin M. Schaffert

Vice President - Business Development

Mr. Schaffert started at CION in 2006, and currently serves as Vice President – Business Development for CION Securities, LLC. His responsibilities include developing and maintaining Key Account Relationships across the Independent Broker / Dealer and RIA channels. Prior to this position, Mr. Schaffert had served various roles of increasing responsibility related to the product management and distribution of CION’s Alternative Investment Strategies. Mr. Schaffert received his BBA in Marketing from Pace University in New York City. He currently holds FINRA Series 7 and 63 registrations. Mr. Schaffert is also a holder of the Chartered Alternative Investment Analyst® (CAIA) designation and is a member of the CAIA Association.

Derek Schwartz

Managing Director & National Sales Manager

Derek Schwartz is Managing Director and National Sales Manager for CION Securities. He has 20 years of experience working in the financial service and investment industry. Mr. Schwartz began his career in the financial industry in 1996 as a financial specialist with AXA financial, serving clients in the estate planning and business continuity markets by providing complex insurance and investment strategies.

He later joined Merrill Lynch in its large retail NYC complex where he worked as a financial consultant to high net worth business owners and entrepreneurs, offering investment advice and asset allocation strategies in the equity, bond, and alternative markets. Mr. Schwartz also spent over 6 years with Citigroup Asset Management, which was later sold to Legg Mason, working in its sales and distribution business where he assisted in the build out of third party sales in its mutual funds, closed-ends, separately managed accounts, and alternative strategies. In 2008, Mr. Schwartz joined CION Securities as Regional Vice President for sales in the Mid-Atlantic region. In 2013, Mr. Schwartz was named head of U.S. Sales for CION Securities. Since joining CION Securities, Mr. Schwartz has played a vital role in the development, marketing, and sales for numerous alternative investments funds including private debt, real estate, energy, and business development funds.

Christine H. Yap

Managing Director & Principal Financial and Accounting Officer

Managing Director and Principal Financial and Accounting Officer of the publicly registered Equipment Funds, joined CION Investment Corporation in May 2013. Prior to joining CION, Ms. Yap was previously a Vice President and Fund Controller at W.P. Carey Inc. from October 2011 to December 2012. Prior to W.P. Carey, from June 1997 to October 2011, Ms. Yap was employed by PricewaterhouseCoopers LLP, rising to the level of Director. Ms. Yap received a B.S. in Accounting from Meredith College and an M.S. in Accounting from the University of Rhode Island and is a certified public accountant.

Michael Zhang

Director of Information Technology

Mr. Zhang, Director of Information Technology, joined CION in 2010 as a Senior Network Engineer with 19 years of IT experience. Prior to joining CION, Mr. Zhang was a Senior System Engineer at Cina Capital and Network Engineer at Valley Health System. Mr. Zhang graduated from the University of Bridgeport, where he received his M.B.A. Mr. Zhang holds certifications from Cisco and Microsoft.

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